handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
) notifying the other securities companies in writing prior to rendering securities trading service for such account that the client or a person who applied for operating a securities trading account or the
law. (2) the intermediary who has maintained capital under other notification concerning the maintenance of capital; (3) the intermediary which has ceased its business according to the notifying letter
examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3
the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set out on the website of the
the arrangement, except for the giving of information or advice to the clients under Clause 13. The form and procedure for informing the names of the foreign personnel under Paragraph 1 shall be as set
countries; (2) notifying regulations regarding the giving of advice complying with law concerning securities and exchange to the foreign securities business operator ; (3) notifying name and address of such
virtue of duty performance. (2) notifying the service user that the provision of services is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the
performance. (3) notifying the service user that the operation is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the operation of the business
investment units during such period the unit price is incorrect, notifying the price correction under (2) and the price compensation, within five business days from the date on which the fund supervisor has